Bangkok, June 21, 2013 ? The SEC is seeking public comment on a draft revision to the rules governing preparation of financial statements, financial reports, and operating results of securities

Printable Format - Laws and Regulations Securities Brokerage Business |- Licensing / Registered Capital / Fees | - |- Licensing (Section 90) | - |- Activities NOT deem TO be classified AS operating

Printable Format - Laws and Regulations Securities Underwriter Business |- Licensing / Registered Capital / Fees | - |- Licensing (Section 90) | - |- Activities NOT deem TO be classified AS operating

Printable Format - Laws and Regulations Business Operation Rules |- Net Liquid Capital Rule (Section 97) |- Executives / Personnel | - |- Approval & Qualifications (Section 103, 104) |- Major

practical guidelines without imposing obstacles for business operators, the SEC has now issued four notifications of regulations concerning the collection, disposal and allocation of REIT assets, with the

The SEC is proposing to amend the regulations regarding funding portals to implement a more suitable and effective system for screening or evaluating the credibility and risk level of crowdfunding

SEC deemed it appropriate to issue regulations concerning the NC Bond offerings of business operators. A public hearing on the matter was conducted in October 2024. The majority of the respondents

) Enhancing clarity in the management of conflicts of interest (COI) by establishing clearer guidelines on transactions between funds or between clients under the same management (cross trade), in line with

Printable Format - Laws and Regulations Securities Borrowing and Lending |- Fees (section 14 and 19) |- Major Shareholders |- Branch Office |- Net Liquid Capital (section 97) |- Capital Reduction

Printable Format - Laws and Regulations Derivatives Agent |- Definitions (Section 3) |- Licensing / Registration (Section 16) | - |- Licensing | - |- Activities NOT deem TO be classified AS operating